18.1 Securities-Definition of Recurring Terms is a financial regulatory document that outlines the definitions of key terms used in the securities' industry. The document is intended to ensure consistency in the interpretation and use of terms across the industry. The terms it defines include those related to the securities' industry, such as “security,” “issuer,” “dealer,” “broker,” “exchange,” and “market.” It also covers terms related to specific types of securities, such as “convertible debt,” “covered call,” and “put option.” Finally, it defines terms related to the registration and reporting of securities, such as “Form S-1” and “Form 10-Q.” Different types of 18.1 Securities-Definition of Recurring Terms include definitions of terms related to corporate finance, securities trading, and public offerings.
18.1 Securities-Definition of Recurring Terms
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FAQ
A security is "an instrument that evidences the holder's ownership rights in a firm (e.g., a stock), the holder's creditor relationship with a firm or government (e.g., a bond), or the holder's other rights (e.g., an option)." Black's Law Dictionary, 10th ed.
Sale of Securities means any issuance, sale, assignment, transfer, distribution (whether by an entity to its owners or otherwise) or other disposition of Securities or of a participation therein, whether voluntarily or by operation of applicable Law.
A security, in a financial context, is a certificate or other financial instrument that has monetary value and can be traded. Securities are generally classified as either equity securities, such as stocks and debt securities, such as bonds and debentures.
A. Commission Orders Under Section 2(a)(19) of the Act. Sections 2(a)(19)(A)(vi) and (B)(vi) of the Act authorize the Commission to issue an order finding that a person is "interested" by reason of a material business or professional relationship with certain persons and entities.
The term ?security? means any note, stock, treasury stock, security future, security-based swap, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment
Purchase or Sale of a Security means the buying or selling of any stock and includes, among other things, the writing of an option to purchase or sell a security or the purchase or sale of a security that is exchangeable for or convertible into a security.
Interests or instruments that are expressly mentioned in securities acts are statutorily defined securities. Examples The securities acts specifically define preorganization subscription agreements; interests in oil, gas, and mineral rights; and deposit receipts for foreign securities as securities.